Richard Alan Rosen

Employer firm

Pinnacle Associates, Ltd. CRD 110631

$10.4B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2016 → 03/2018
  Satucket Capital Management, Llc
  Summit, NJ
• 03/2018 → Present
  Pinnacle Associates, Ltd
  New York, NY

Previous Registrations

• 2016-04-15 → 2019-01-07
  Satucket Capital Management, Llc
  Summit, NJ
• 2013-12-12 → 2016-02-11
  Td Private Client Wealth Llc
  Bernardsville, NJ
• 2012-09-19 → 2013-11-26
  Satucket Capital Management, Llc
  Summit, NJ

Exams

• S63 Uniform Securities Agent State Law Examination
  2014-01-15
• S65 Uniform Investment Adviser Law Examination
  1992-12-22

Designations

• Chartered Financial Analyst